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SIC III ADVISOR, LLC CODE OF BUSINESS CONDUCT, ETHICS AND STATEMENT ON THE PROHIBITION OF INSIDER TRADING December 20, 2013, CODE OF BUSINESS CONDUCT, ETHICS AND STATEMENT ON THE PROHIBITION OF INSIDER

How to fill out code of business conduct

How to fill out code of business conduct:

1. Start by reviewing any existing code of business conduct templates or examples. This can give you a good starting point and help you understand the key components and structure of a code of conduct.
2. Identify the values and principles that are important to your organization. These should align with the company's mission, culture, and industry standards. Consider conducting surveys or focus groups to gather input from employees at all levels of the organization.
3. Determine the scope of your code of conduct. Think about the specific areas that it should cover, such as conflicts of interest, harassment and discrimination, financial integrity, etc. Make sure to consider any legal or regulatory requirements that apply to your industry.
4. Develop clear and concise policies and guidelines for each area you're addressing. Use simple and straightforward language that is easily understood by all employees. Provide examples or scenarios to illustrate expectations and provide guidance on what is acceptable behavior.
5. Consider including a section on reporting and whistleblowing. Provide clear instructions on how employees can raise concerns anonymously and without fear of retaliation. Establish a process for investigating and addressing reported concerns promptly and fairly.
6. Once the draft is complete, seek feedback from various stakeholders, such as top management, legal advisors, human resources, and employees. Incorporate their suggestions and make necessary revisions to ensure the code of conduct reflects the values and expectations of your organization.
7. Finally, once the code of conduct is approved and finalized, communicate it to all employees through training sessions, company-wide meetings, and publication on the intranet or other internal communication channels. Ensure that employees understand the code and acknowledge their commitment to adhere to it.

Who needs code of business conduct?

1. All employees within the organization, regardless of their job level or function, need to be aware of and adhere to the code of conduct. This includes all full-time, part-time, and contract employees.
2. The code of conduct also applies to the organization's leadership team, including executives, managers, and supervisors. They have a responsibility to lead by example and ensure that their actions align with the code's principles.
3. Suppliers, contractors, and other business partners who have a direct relationship with the organization should also be made aware of and expected to follow the code of conduct. This can help maintain ethical standards throughout the supply chain and foster a culture of integrity.

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What is code of business conduct?

Code of business conduct is a set of guidelines and rules outlining the ethical standards and behavior expected from employees and the organization.

Who is required to file code of business conduct?

Typically, all employees and executives of a company are required to adhere to and file the code of business conduct.

How to fill out code of business conduct?

Employees are usually required to read, understand, and acknowledge the code of business conduct by signing a document stating their compliance.

What is the purpose of code of business conduct?

The purpose of the code of business conduct is to promote ethical behavior, integrity, and compliance with laws and regulations within the organization.

What information must be reported on code of business conduct?

The code of business conduct may include sections on conflicts of interest, confidentiality, reporting misconduct, and adherence to company policies.